DFX Intelligence

M••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M••••• A•••••••• I•••

CRD 111093

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:1aa1a1ab-6c1e-6a77-2f32-156b91262251

Data as of Feb 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2012 to Feb 24, 2017
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• J••••••• A••••	VICE PRESIDENT AND DIRECTOR OF PORTFOLIO MANAGEMENT	B	yes	01/2007	Feb 13, 2012	Feb 24, 2017
M•••••• J•••• K•••	EXECUTIVE VICE PRESIDENT AND SECRETARY	C	yes	05/2004	Feb 13, 2012	Feb 24, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Feb 24, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$1.4B	$1.2B	16.2%	$992M	11.1%	18	14	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C• B••••••••• P•••••• W•••••	4	Sep 8, 2017	Aug 2, 2017	CHARLOTTE, NC	Firm absorbed	Other	100.0%

Relationships

Controls (4)

← S•••• R•••••• V•••••••OwnerPRESIDENT, TREASURER, AND CHIEF EXECUTIVE OFFICER, ownership code C, individual
Feb 13, 2012 to presentfactForm ADV
← H••••••• J••••••• A••••OwnerVICE PRESIDENT AND DIRECTOR OF PORTFOLIO MANAGEMENT, ownership code B, individual
Feb 13, 2012 to presentfactForm ADV
← M•••••• J•••• K•••OwnerEXECUTIVE VICE PRESIDENT AND SECRETARY, ownership code C, individual
Feb 13, 2012 to presentfactForm ADV
← M•••••• B••••• S••••••OwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code A, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1aa1a1ab-6c1e-6a77-2f32-156b91262251
First observed: Feb 13, 2012
Last observed: Feb 24, 2017 116 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.